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e-CFR data is current as of October 29, 2020

Title 17Chapter IPart 3Subpart C → §3.57


Title 17: Commodity and Securities Exchanges
PART 3—REGISTRATION
Subpart C—Denial, Suspension or Revocation of Registration


§3.57   Proceedings under section 8a(2)(E) of the Act.

The Commission will not initiate a proceeding under section 8a(2)(E) of the Act, if respondeat superior is the sole basis upon which the registrant may be found subject to a statutory disqualification.

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